Corporate planning framework
TRIM record number
Date of Human Rights Charter Review
Date of approval
Review date
Policy:
Responsible Officer:
DOC/12/34681
3 October 2012
3 October 2012
October 2015
Annual Planning Cycle
Director, Corporate Services
Version: 2
Date of approval: 1 October 2012
Purpose
This document describes how the Victorian Ombudsman (VO) approaches
corporate planning.
Context
VO has an approach to its corporate planning activities that facilitates:
Good governance – by having a framework that clearly states the
Ombudsman’s goals and how they will be achieved.
Good management – by ensuring all staff understand what is required of
them and how we will evaluate our performance.
Confidence – by assisting the Ombudsman to meet statutory obligations,
public sector compliance requirements and demonstrate that our resources
are used efficiently, effectively and lawfully.
Elements of the framework
The Ombudsman’s strategic framework
The Strategic Framework sets out the Ombudsman’s vision, mission, values,
service outputs and strategic objectives. The Strategic Framework can be
expected to remain stable over the medium to long term unless there are
significant changes to the Ombudsman’s jurisdiction or there is a change in
Ombudsman.
All VO activity should have regard to the Strategic Framework.
The Annual Plan
The Annual Plan provides a high level description of the activities that VO will
undertake during the financial year in pursuit of the objectives contained in
the Strategic Framework. It also identifies risks to the Ombudsman meeting
these objectives. The Risk Management Plan includes an assessment of
how effectively VO controls those risks and states where adjustments may
need to be made to the Risk Register over the coming year.
Risk Register
The Risk Register includes risks to the achievement of the strategic
objectives contained in the Strategic Framework. The likelihood of each risk
resulting in an adverse event is assessed and the consequences of such an
event are estimated.
Risks are controlled through risk treatment strategies which are assigned to
individual members of staff to implement. A VPS 6 officer or above is
assigned responsibility for each risk requiring them to monitor the
implementation and effectiveness of the associated risk treatments.
Program Plan
A Program Plan is developed for significant programs of activity. This is
necessary when the planned activities expose VO to significant expenditure
or involve strategic risks. Examples include the annual learning &
development plan, community education program and the Information
Technology program.
While a Program Plan is prepared on an annual basis it may contain multiyear strategies which roll over from plan to plan. A Program Plan is approved
by the Deputy Ombudsman or Ombudsman unless that responsibility is
delegated to a Director.
Project plan
A Project Plan is a task orientated plan which guides the implementation of a
specific project. A Project Plan should be prepared for any project involving
expenditure of more than $20,000 or where the risk has been assessed as
having a strategic risk rating of significant or higher when assessed against
VO’s risk evaluation matrix.
A Project Plan is approved by the relevant Director excepting that any Project
Plan that involves financial expenditure must be approved by a senior officer
with appropriate financial delegations
Performance & Development plan
A Performance & Development Plan allocates accountabilities for delivering
the Strategic Framework, Annual Plan, Program Plans and Project Plans to
individual officers. Performance & Development Plans also identify the
competencies and knowledge that employees will develop during the
performance cycle to improve their performance and progress in their career.
Integrated planning
VO’s Corporate Planning framework ensures that the planning done at all
levels of the organisation is centered on the Strategic Framework. Each
element of the Corporate Planning Framework involves six core elements1:
1
Strategic Management Framework, Department of Treasury & Finance Victoria, May 2011, page 1.
The planning cycle is continuous as progress is monitored, achievement
reported, performance assessed and priorities adjusted.
Steps in the annual planning cycle
The steps in the annual planning cycle are represented in the following
diagram:
Timetable
July
Individuals undertake their end of cycle Performance Development &
Progression (PDP) reviews.
August
The Budget & Expenditure Review Committee (BERC) ‘asset filtering’
submissions are due. Any requirement for an asset related submission to
BERC should be identified during the March / April planning phase. Detailed
proposals are then prepared between April and August should the
Ombudsman proceed with a submission.
December
Full BERC submissions are due. If the Ombudsman intends to make an
‘output based’ submission this will have been included in the Annual Plan and
the formal proposal prepared between July and December.
Mid-cycle performance reviews are due which will include reviewing any
tasks allocated under the Annual Plan or through any other element of
planning framework.
Officers with leadership responsibilities for Annual Plan items are to forward a
brief progress report to the Director of Corporate Services who will prepare a
summary report for the Ombudsman / Deputy Ombudsman.
March - April
A SWOT analysis is undertaken by all staff in small workshops to identify
Strengths, Weaknesses, Opportunities and Threats (including risks) of and to
VO.
An annual forum is then chaired by the Deputy Ombudsman and attended by
all Directors, Assistant Directors and Team Managers. The forum will discuss
priorities for the next Annual Plan including items that are to be carried over
from the existing plan.
Following the forum the Director of Corporate Services prepares a draft
Annual Plan for discussion by the executive management team and
subsequent approval by the Ombudsman.
May - June
The Director of Corporate Services liaises with officers who have been
allocated specific responsibilities in the Annual Plan. If necessary the
responsible officer then prepares a Program Plan or Project Plan.
July
End of cycle PDP reviews are completed by the end of the second week in
July.
Officers with leadership responsibilities for items in the previous Annual Plan
are to forward a brief progress report to the Director of Corporate Services
who will prepare a summary report for the Ombudsman / Deputy
Ombudsman.
A new PDP plan is prepared for each member of staff which considers:


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the Strategic Framework, the Annual Plan and the Risk Register
any relevant Program Plan or Project Plan
the outcome of the previous PDP cycle including the officers selfassessment and the feedback provided by their manager.